Disciplinary Proceedings Against Dade
2014 WI 108 (2014)
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ATTORNEY disciplinary
proceeding. Attorney's license
suspended.
¶1 PER CURIAM. We review the
recommendation of referee Hannah C. Dugan
that the license of Attorney John R. Dade to
practice law in Wisconsin be suspended for a
period of 90 days and that he be required,
as a condition of the reinstatement of his
license, to complete six continuing legal
education (CLE) credits in law office
management, to be approved in advance by the
Office of Lawyer Regulation (OLR). The
referee also recommends that the full costs
of the proceeding, which are $5,420.73 as of
May 7, 2014, be assessed against Attorney
Dade.
¶2 Based upon our independent review of
the matter, we adopt the referee's findings
of fact and conclusions of law. We also
agree with the referee's recommendation for
a 90-day suspension of Attorney Dade's
license to practice law in Wisconsin. We
further agree with the referee's
recommendations regarding CLE credits and
assessment of costs.
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¶3 Attorney Dade was admitted to
practice law in Wisconsin in 1983 and
practices in Whitewater. In 1991 he
received a private reprimand for failing to
communicate, failing to act with reasonable
diligence, and failing to cooperate with the
investigation of the Board of Attorneys
Professional Responsibility, the predecessor
to the OLR.
¶4 In 2007 Attorney Dade received a
public reprimand for failure to provide
competent representation, lack of diligence,
and failure to communicate. In 2007
Attorney Dade's license to practice law was
suspended for 60 days for lack of diligence,
failure to hold in trust the property of
others in his client trust account, and
failure to cooperate in an OLR
investigation. In re Disciplinary
Proceedings Against Dade, 2007 WI 66, 301
Wis. 2d 67, 732 N.W.2d 433.
¶5 In 2012 Attorney Dade was publicly
reprimanded for lack of diligence, failure
to communicate, failure to cooperate in the
OLR's investigation, and failure to return a
client's documents. In 2013 Attorney Dade's
license to practice law in Wisconsin was
suspended for 60 days for lack of diligence,
lack of communication, and failure to obey a
court order. In re Disciplinary
Proceedings Against Dade, 2013 WI 21, 345
Wis. 2d 646, 827 N.W.2d 86.
¶6 On August 6, 2013, the OLR filed a
complaint alleging two counts of misconduct
with respect to Attorney Dade's
representation of R.K., a defendant in a
real estate dispute. A trial in said
dispute was held in Walworth County circuit
court in late September 2006. Attorney Dade
failed to file a brief by November 28, 2006,
as required by the court's post-trial
briefing schedule. In a December 11, 2006
order, the circuit court informed the
parties that the court would make its
decision based on the evidence at trial and
the plaintiffs' brief.
¶7 In a decision issued on January 29,
2007, the circuit court found that the
plaintiffs had met their burden of proof and
were entitled to ownership by adverse
possession of the piece of land at issue.
Attorney Dade filed a notice of appeal on
behalf of R.K. In a May 31, 2007 order, the
court of appeals found that Attorney Dade
had not filed a docketing statement and
informed him that unless it was filed within
five days, the appeal would be subject to
dismissal or other sanctions. Attorney Dade
did not promptly file a docketing statement.
¶8 In a June 27, 2007 order, the court
of appeals noted the docketing statement had
still not been filed and indicated that if
the original and one copy of the statement
was not filed on or before July 9, 2007, a
penalty of $25 per day would be imposed on
Attorney Dade as counsel for the appellant
until such time as the docketing statement
was filed. Attorney Dade failed to file the
docketing statement by July 9, 2007.
¶9 On July 11, 2007, Attorney Dade
filed a stipulation signed by R.K.
substituting Attorney C. Bennett Penwell as
attorney of record for R.K. Attorney
Penwell was in the same law firm as Attorney
Dade.
¶10 This court suspended Attorney Dade's
law license for 60 days, effective July 13,
2007.
¶11 In an August 7, 2007 order, the
court of appeals again noted the history of
Attorney Dade's failure to file a docketing
statement. The penalty that had accrued at
that point was more than $700. The court of
appeals again extended the time for filing a
docketing statement to August 17, 2007,
conditioned upon the simultaneous payment by
Attorney Dade of a $50 penalty. The court
of appeals informed Attorney Dade that if
the original and one copy of the docketing
statement were not filed by August 17, 2007,
Attorney Dade would be required to
personally pay the $700 penalty, and a
penalty of $25 per day would begin running
as to Attorney Penwell personally as well.
Attorney Penwell filed the docketing
statement on August 16, 2007. On July 30,
2008, the court of appeals affirmed the
circuit court's judgment.
¶12 R.K. filed a grievance against
Attorney Dade with the OLR on February 1,
2012. Despite being provided with written
notice of the investigation and being
personally served with letters from the OLR
reminding him of his duty to cooperate and
informing him that he was required to file a
written response to the grievance, Attorney
Dade failed to respond until late August
2012.
¶13 The OLR's complaint alleged the
following counts of misconduct with respect
to Attorney Dade's handling of R.K.'s case:
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[Count One] By failing to file a
docketing statement in [R.K.'s] appeal, even
after receiving orders from the Wisconsin
Court of Appeals dated May 31, 2007, and
June 27, 2007, ordering him to do so, Dade
violated SCR 20:1.3 and 20:3.4(c).
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[Count Two] By failing to provide a
written response to the grievance, which was
due by June 25, 2012, until providing OLR
with [R.K.'s] case file on August 8, 2012
and a written response on August 31, 2012,
and only after receiving a letter by
ordinary mail, a letter by certified and
ordinary mail, and being personally served,
Dade violated SCR 22.03(2) and (6) as
enforced via 20:8.4(h).
¶14 Attorney Dade did not file a timely
answer to the complaint. The OLR filed a
notice of motion and motion for default
judgment. The referee scheduled the initial
teleconference between the parties to be a
hearing on the OLR's default judgment
motion. The telephonic hearing was
scheduled for October 17, 2013. Attorney
Dade filed an answer on October 17, 2013,
admitting the allegations in the complaint
with the exception of the claimed violation
of SCR 20:3.4(c). The parties appeared via
telephone for the hearing on the motion for
default judgment. The parties agreed to
proceed to a hearing on the sole issue of
the appropriate disciplinary sanction. The
sanctions hearing was held on December 5,
2013. At the close of the hearing, the
parties requested the opportunity to file
written briefs regarding the appropriate
sanction. The OLR filed its brief.
Attorney Dade did not file a response
brief. The referee issued her report and
recommendation on March 27, 2014.
¶15 The referee concluded that the OLR
failed to meet its burden of proof
establishing that Attorney Dade violated SCR
20:3.4(c). The referee noted that the court
of appeals' orders mentioned in the
complaint were not made part of the record.
As a result, the referee said it was
difficult to determine whether Attorney
Dade's failure to timely submit the
docketing statement was a violation of the
successive communications from the court of
appeals that rises to the level of a SCR
20:3.4(c) violation. The referee said that
a review of prior case law involving SCR
20:3.4(c) violations reveals cases involving
clear court orders and deliberate,
egregious, and sometimes even arrogant,
violations of SCR 20:3.4(c). The referee
concluded that, although failing to file the
docketing statement was not acceptable
practice, and while Attorney Dade
acknowledged that his failure to file the
docketing statement was a violation of the
lack of diligence rule, the OLR failed to
carry its burden of proof that Attorney Dade
knowingly disobeyed an obligation under the
rules of a tribunal.
¶16 The referee concluded that the OLR
did meet its burden of proof with respect to
the other allegations in the OLR's
complaint.
¶17 With respect to the appropriate
sanction, the referee noted that the OLR
sought a five-month suspension of Attorney
Dade's license to practice law in
Wisconsin. The referee concluded that a 90-
day suspension was appropriate. The referee
agreed with the OLR that Attorney Dade's
disciplinary history demonstrates a
troubling pattern of lack of diligence,
failure to obey court orders, and failure to
cooperate in OLR investigations. On the
other hand, the referee pointed to Attorney
Dade's willingness to acknowledge the
wrongful nature of his conduct. The referee
also noted that the underlying facts in this
case occurred in 2007 and the grievance was
not filed until five years later. The
referee pointed out that in the ensuing five
years, this court disciplined Attorney Dade
with two public reprimands and two 60-day
license suspensions. The referee said this
unusual disciplinary pattern complicated the
recommendation with respect to this court's
standard of progressive discipline.
¶18 The referee also said that the OLR
did not establish that Attorney Dade's
violations of supreme court rules "harmed"
his client in a specific, tangible way. The
referee said that Attorney Dade's conduct
requires a sanction that clearly signals to
Attorney Dade and to the practicing bar that
repeated failures to respond to the OLR are
unacceptable breaches of professional
ethics. On balance, the referee concluded
that a 90-day suspension was an appropriate
sanction. The referee also recommends, as a
requirement of the reinstatement of his
license, that Attorney Dade be required to
complete six CLE credits in law office
management, to be approved by the OLR, and
that he be assessed the full costs of this
proceeding.
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¶19 A referee's findings of fact are
affirmed unless clearly erroneous.
Conclusions of law are reviewed de novo.
See In re Disciplinary Proceedings
Against Eisenberg, 2004 WI 14, ¶5, 269
Wis. 2d 43, 675 N.W.2d 747. The court may
impose whatever sanction it sees fit,
regardless of the referee's recommendation.
See In re Disciplinary Proceedings
Against Widule, 2003 WI 34, ¶44, 261 Wis.
2d 45, 660 N.W.2d 686.
¶20 There is no showing that any of the
referee's findings of fact are erroneous.
Accordingly, we adopt them. We also agree
with the referee's conclusions of law that
Attorney Dade violated the supreme court
rules set forth above.
¶21 Given the referee's factual
findings, we further agree with the referee
that Attorney Dade's professional misconduct
requires that his license to practice law in
Wisconsin be suspended for a period of 90
days. Attorney Dade has not objected to the
statement of costs filed by the OLR, and we
conclude that he should be required to pay
the full amount of costs in this
disciplinary proceeding. Finally, we agree
with the referee's recommendation that, as a
condition of the reinstatement of his
license to practice law, Attorney Dade be
required to complete six CLE credits in law
office management, to be approved by the OLR.
¶22 IT IS ORDERED that the license of
Attorney John R. Dade to practice law in
Wisconsin is suspended for a period of 90
days, effective September 25, 2014.
¶23 IT IS FURTHER ORDERED that, as a
condition of the reinstatement of his
license to practice law, John R. Dade shall
be required to complete six continuing legal
education credits in law office management,
to be approved by the Office of Lawyer
Regulation.
¶24 IT IS FURTHER ORDERED that within 60
days of the date of this order, John R. Dade
shall pay to the Office of Lawyer Regulation
the costs of this proceeding.
¶25 IT IS FURTHER ORDERED that John R.
Dade shall comply with the provisions of SCR
22.26 concerning the duties of a person
whose license to practice law in Wisconsin
has been suspended.
¶26 IT IS FURTHER ORDERED that
compliance with all conditions of this order
is required for reinstatement. See SCR
22.28(2).
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